Licensing and Registration Compliance Officer

6 days ago

Pune, India UBS Full time

India
- Compliance, Risk
- Group Functions

**Job Reference #**
- 257679BR

**City**
- Pune

**Job Type**
- Full Time

**Your role**
- Assist with the process for management accountability regime including Chief Executive, Alternate Chief Executives, Executive Officers, Responsible Officers, s.72B Manager and Manager-In-Charge appointments and regulatory submission.
- Keep abreast of latest licensing regulatory developments. Provide regulatory advisory to the business on licensing matters.
- Perform period licensing review for the SFC and HKMA individuals
- Review the processes to reduce operational risk and improve process efficiency.
- Liaising closely with key stakeholders in Compliance, the business and other control functions and timely respond to the related request and enquiries.
- Perform ad hoc duties as required.

**Your team**
- The Licensing and Registrations Team is part of regional Compliance & Operational Risk Control team. You’ll be joining our Hong Kong Licensing Team based in Pune. We provide advice, solutions and execution in individuals SFC licensing and HKMA registrations. The function has a cross-divisional remit covering the activities of the Investment Bank, Global Wealth Management, Global Asset Management and Group Functions Businesses.

**Your expertise**
- Strong knowledge of licensing regimes and regulations in Hong Kong (SFC & HKMA) is preferred
- Experience operation a complicated process on a day-to-day basis and understanding of controls to minimize operational issues
- Strong project management and organizational skills and capability to handle multiple projects at one time
- Preferred with experience in similar role
- Bachelor degree in Finance, Accounting, Law, Business Administration, Risk Management or related disciplines
- Excellent written and verbal communication skills
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- A self-starter, flexible, innovative and adaptive
- Proactive and confident
- Able to identify the gaps and has attention to detail
- Analytical with the ability to provide practical solutions for minimizing risk

**About us**
- UBS is the world’s largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.
- With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

**How we hire**

**Join us**
- At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.
- From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we’re more than ourselves. Ready to be part of #teamUBS and make an impact?

**Disclaimer / Policy Statements**
- UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

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